NAIFA Advisor Today

SEPTEMBER 7, 2022

The answer this year has resulted in 27 NAIFA members who serve Main Street USA by actively promoting financial literacy in their clients’ best interests and following the NAIFA Code of Ethics. You can view the list of these professionals in Advisor Today.

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Ethics Clients 96

Advisor Perspectives

JUNE 3, 2024

From potentially brand-damaging ethical risks to regulatory uncertainty, AI poses challenges for investors. But there is a path forward.

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Ethics 52

Advisor Perspectives

MAY 7, 2024

Outside Business Activities (OBAs) are more than just side hustles for financial advisors – they’re ethical minefields that have drawn increasing scrutiny from regulatory bodies like FINRA.

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Ethics Compliance Financial Advisor 64

NAIFA Advisor Today

JUNE 29, 2023

Additional Examples from Our Code of Ethics to Support Our Clients An event that clearly supports the NAIFA commitment to diversity, equity, and inclusion occurs annually and was held in May at the J.W. Marriott, 1331 Pennsylvania Avenue NW in Washington, D.C.

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Ethics Clients Investing Investments 52

Aleph

DECEMBER 14, 2022

The title of the talk was “The Value of Ethics –The Value of a CFA Charter.” ” The main point of my talk was that the uniqueness of the CFA Charter did not stem from the “Body of Knowledge” imparted in the exams, but rather from the emphasis on ethics. So what made me decide to write this tonight?

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Ethics Insurance Math Investments 52

International College of Financial Planning

MAY 30, 2023

The finance industry is known for its complexity and competitiveness,where ethics play a pivotal role in determining arofessional’s success and credibility. As a finance student, understanding and practicing ethical behavior is crucial for building a responsible and reputable career. Impact of Ethics on Finance and the Economy.

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Ethics Compliance Education Clients 40

Envision Wealth Planning

MAY 23, 2022

Ethical financial advisors are on the rise and are now doing things within their businesses with the hope to serve as an example of the right behavior for the rest of the industry to follow. Ethics matter in financial advice! Ethics matter. You’ll have to do your own research to determine if these advisors really are ethical.

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Ethics Financial Advisor Financial Planning Clients 52

Sara Grillo

APRIL 21, 2022

So here’s a blog about some things that ethical financial advisors do in the hopes they will serve as an example of right behavior for the rest of the industry to follow. Ethics matter in financial advice! Ethics matter. The following case studies serve as examples of ethical actions taken by financial advisors.

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Ethics Financial Advisor Clients Management 52

Abnormal Returns

AUGUST 5, 2024

tomtunguz.com) Can an AI company actually be run ethically? (sherwood.news) Big Tech is getting creative when it comes to acquisitions. spyglass.org) Where AI can really save a company money. vox.com) Economy Just how freaked out should people be about the July jobs report? optimisticallie.com) Heavy truck sales rose in July.

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Ethics Financial Advising Media Economy 278

Brown Advisory

APRIL 22, 2021

Corporate Engagement Spotlight: Ethical AI Practices ajackson Thu, 04/22/2021 - 11:37 Right now, as you read this, there are computers and network servers all over the world pondering one topic: you. Too often, developers and users are putting AI products and services into the market before anyone starts asking ethical questions.

Ethics 52

Ethics Compliance Government Clients 52

Brown Advisory

APRIL 22, 2021

Corporate Engagement Spotlight: Ethical AI Practices. Ethical AI is a term used throughout this discussion, loosely defined as development and delivery of AI products and services that empower employees, produce fair and just outcomes for stakeholders and generate other positive outcomes for society. Thu, 04/22/2021 - 11:37.

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Ethics Compliance Government Clients 52

Abnormal Returns

FEBRUARY 27, 2024

optimalmomentum.com) Is there a 'Protestant retirement ethic'? (wealthmanagement.com) Why biotech stocks are like lottery tickets. alphaarchitect.com) How to trade Bitcoin without trading Bitcoin. klementoninvesting.substack.com)

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Ethics Retirement 162

Abnormal Returns

APRIL 5, 2023

timdenning.substack.com) Why you should have a Life Ethic not a Work Ethic. (flowfp.com) Three insights from "More Than Enough: A Brief Guide to the Questions That Arise After Realizing You Have More than You Need" by Mike Piper. humbledollar.com) Things to stop doing to save yourself time including turning off notifications.

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Ethics Financial Planner Financial Advising Financial Planning 242

Wealth Management

APRIL 16, 2024

Avoiding sanctions, malpractice claims, IRS’ costly penalties, the slammer.

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Ethics 74

NAIFA Advisor Today

NOVEMBER 7, 2024

With his roots in rural Idaho, he has spent over 50 years in the financial services industry, championing the importance of ethics, education, and advocacy. Cliff has left a lasting legacy mentoring young advisors, demonstrating a deep commitment to the growth and development of professionals in the field.

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Ethics Financial Services Education Clients 52

Wealth Management

SEPTEMBER 9, 2024

Supreme Court justices are allowed to hold individual stocks, but ethics rules deem they should disqualify from cases involving the companies.

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Ethics Portfolio 88

Nerd's Eye View

APRIL 7, 2023

Also in industry news this week: FINRA has announced that, on the heels of its first enforcement action under the Reg BI rules, it will be ramping up its examinations of broker-dealers for potential violations (after a long period of relative leniency when firms were still determining how best to comply with the rule) A recent study from Ameriprise (..)

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Financial Planner Ethics Financial Advisor Clients 231

NAIFA Advisor Today

FEBRUARY 23, 2023

NAIFA and the National African American Insurance Association (NAAIA) As NAAIA is a NAIFA advocacy partner , NAIFA members can be proud of the progress of insurance and financial services companies with improved diversity, equity, and inclusion (DEI) efforts.

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Ethics Insurance Financial Services Financial Advisor 52

Wealth Management

JULY 16, 2024

Know your stuff, keep up-to-date and do the right thing.

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Ethics 70

Nerd's Eye View

SEPTEMBER 25, 2023

Gradually, CFP Board also raised the ethical standards for CFP professionals, introducing a fiduciary standard on financial planning in 2008 and, in 2020, an expanded fiduciary standard that applies whenever the certificant is giving financial advice.

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CFP Financial Planning Planning Certification 244

Million Dollar Round Table (MDRT)

NOVEMBER 10, 2024

When they see your MDRT affiliation on your website, in your literature or on a plaque hanging in your office, would they know that you met significant production qualifications annually to be part of the association and that you follow a strict code of ethics?

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Clients Ethics Education Media 83

Million Dollar Round Table (MDRT)

SEPTEMBER 8, 2024

There’s an important business process, though, that can stop them from escalating into ethics complaints. By Antoinette Tuscano, MDRT senior content specialist You hope you never get them, but misunderstandings and client complaints can happen. Dipp Metzger, CFP, MSFS.

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Clients Ethics CFP Communication 88

The Big Picture

JULY 2, 2023

ProPublica ) • I did Alito’s ethics prep for his confirmation hearing. The find yields a new understanding of the enormous harm of such a transaction. His new excuses are nonsense. Nearly 20 years later, I must ask: What happened? . CNN ) • Nearly half of US honeybee colonies died last year.

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Ethics Recruitment Accounting Consulting 263

Wealth Management

SEPTEMBER 14, 2022

The direct indexing platform designed to construct customized, values-based portfolios remains one of the last independent firms in its space.

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Ethics Investing Investments Portfolio 75

NAIFA Advisor Today

NOVEMBER 22, 2022

NAIFA’S Hard Hat Winner! In the final two months of 2022, we are happy to recognize one of our members, Roger Sims, CLU, LUTCF , who has received NAIFA’s 2022 Q3 Membership Hard Hat Award.

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Ethics 52

Wealth Management

AUGUST 22, 2023

When done correctly, joint representation can have many benefits.

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Ethics 77

Wealth Management

NOVEMBER 13, 2023

Look to legal and ethical ways to reduce tax burdens. The IRS isn’t playing around; neither should your clients.

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Ethics Taxes Clients 114

Wealth Management

AUGUST 22, 2023

ABA Formal Opinion 507 addresses some of these issues.

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Ethics 74

Wealth Management

JANUARY 11, 2023

What attorneys can and can’t do.

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Ethics Clients 99

Nerd's Eye View

FEBRUARY 27, 2023

Financial advisors are generally required to abide by ethical standards, such as the duty to act in a client’s best interests when giving financial advice. A forthcoming study by Jeff Camarda et al. in Journal of Financial Regulation, however, concludes the opposite.

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CFP Financial Advisor Ethics Certification 130

Nerd's Eye View

FEBRUARY 27, 2023

Financial advisors are generally required to abide by ethical standards, such as the duty to act in a client’s best interests when giving financial advice. A forthcoming study by Jeff Camarda et al. in Journal of Financial Regulation, however, concludes the opposite.

CFP 130

CFP Financial Advisor Ethics Certification 130

Wealth Management

SEPTEMBER 5, 2023

What might have been a framework to encourage more ethical investing has become a bureaucratic nightmare of box ticking.

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Ethics Investments Investing 109

Wealth Management

NOVEMBER 9, 2023

The Board’s Disciplinary and Ethics Commission previously released anonymized iterations of its public sanctions, but starting today the Board will make the actual orders available to the public.

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CFP Ethics Commission 88

Advisor Perspectives

AUGUST 19, 2024

Ethical Capital's Sloane Ortel marshals the data to counter the arguments against aggressively fighting climate change laid out in Larry Siegel's recent article.

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Ethics 52

Don Connelly & Associates

DECEMBER 11, 2023

Financial advisors caught up in ethical dilemmas, whether intentional or not, must be ready to take corrective action to save the relationship and keep the trust of their clients. But what about when the tables are turned, and the client creates a conflict of interest or ethical dilemma?

Clients 52

Clients Ethics Financial Advisor 52

Advisor Perspectives

JUNE 18, 2024

Understanding how to act ethically and appropriately as an advisor is apparently no easy task.

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Ethics 69

Nerd's Eye View

JULY 31, 2024

At the core of the examination, though, is a review of the firm's compliance policies and procedures and code of ethics, including not just a copy of the 'paper' compliance manual but also how the practices and controls the firm puts into place ensure it adheres to its compliance program.

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Compliance Ethics Advertising Clients 238